LISATA THERAPEUTICS, INC. — Director's Dealing 2012

Aug 17, 2012

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: NeoStem, Inc. (NBS)
CIK: 0000320017
Period of Report: 2012-08-16

Reporting Person: Smith Robin L (Director, Chairman of the Board and CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2012-08-16	Common stock, $0.001 par value	A	54000	—	Acquired	1713533	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2012-08-16	Stock Option (Right to Buy)	$1.90	D	54000	Disposed		Common stock, par value $0.001 per share (54000)	Direct

Footnotes

F1: The reporting person agreed to the cancellation of a total of 54,000 options (originally granted on June 2, 2006 expiring ten years from the date of grant), including the forfeiture of the reload feature contained in the option which entitled the reporting person to a new option grant for the same number of shares as the original option on exercise, in exchange for the granting of 54,000 shares (for which the Company will pay applicable withholding taxes), as approved by the Compensation Committee.